Vice President, BRCM, Financial Advisory and Conduct

United Overseas Bank; Singapore; On-site; SGD 150,000 - 200,000; Full time

Job summary

A leading financial institution in Singapore seeks a Vice President to lead the design and oversight of a financial advisory compliance framework. This role is vital for ensuring regulatory compliance while promoting ethical and client-centric services. Responsibilities include risk management, advisor training, and stakeholder engagement to enhance compliance culture. Ideal candidates will demonstrate expertise in regulatory standards and a proven ability to lead teams in a dynamic environment. Competitive compensation and benefits package offered.

Qualifications

• Proven experience in leading compliance frameworks within financial advisory.
• Strong understanding of regulatory standards (e.g., SEC, FINRA).
• Experience in training and developing financial advisors.

Responsibilities

• Define and execute the strategic vision for financial advisory compliance.
• Ensure adherence to financial advisory regulations and internal standards.
• Identify and mitigate risks associated with advisory activities.
• Lead training initiatives for financial advisors on compliance policies.
• Oversee compliance monitoring to track advisor activities.

Skills

Strategic vision execution

Regulatory compliance

Risk assessment

Advisor training

Stakeholder engagement

Job description

The Vice President will lead the design, implementation, and oversight of the financial advisory compliance framework across the fragments of the organization. This role ensures that financial advisors operate within regulatory standards while delivering ethical and client‑centric services. The position works closely with senior stakeholders, regulatory authorities, and cross‑functional teams to manage risk, enhance advisor performance, and strengthen the compliance culture.

Key Responsibilities

Strategic Leadership

• Define and execute the strategic vision for the financial advisory framework, ensuring alignment with regulatory requirements and business objectives.
• Drive compliance initiatives that meet fiduciary responsibilities and reflect industry best practices.
• Shape policies, tools, and strategies to enable advisors to deliver compliant client experiences.

Regulatory Compliance Management

• Ensure adherence to financial advisory regulations (e.g., SEC, FINRA, or regional equivalents) and internal governance standards.
• Monitor regulatory changes and update advisory frameworks and processes in a timely manner.
• Manage audits, examinations, and inquiries with regulatory authorities.

Risk Management

• Identify, assess, and mitigate risks associated with advisory activities and client interactions.
• Implement controls to ensure transparency, proper disclosures, and conflict‑of‑interest management.
• Uphold fiduciary standards and ethical practices throughout advisory operations.

Advisor Training and Development

• Lead initiatives to train financial advisors on compliance policies, ethical standards, and regulatory updates.
• Provide tools and resources to enhance advisor performance while maintaining compliance.
• Promote a culture of accountability, professionalism, and continuous improvement.

Monitoring and Reporting

• Oversee compliance monitoring programs to track advisor activities and proactively identify trends and risks.
• Prepare detailed compliance and risk reports for senior leadership, highlighting key metrics, issues, and recommendations.
• Advise the executive team on strategic implications of compliance matters.

Stakeholder Engagement

• Partner with Legal, Risk, Operations, and Product teams to ensure a consistent approach to advisory compliance.
• Represent the organization in industry forums and advocacy groups to influence regulatory policies.